Compliance Best Practices

These pages have carried news of the Bay State's new data security rules so it came as a big surprise when a CD arrived in ...

Perhaps a client moved to a new address without notifying your firm. Or maybe removed the RIA from his brokerage account. Or even passed on. ...

This is an article written by attorney Andrew Vollmer on steps hedge fund advisers can take to reduce the risk of insider trading. This article ...

Seattle-based securities attorney James Barbee, who has favored mediation over arbitration for the last 10 years, says information unearthed in mediation can help CCOs spot ...

The element of surprise works to your advantage when attempting to convey a message of compliance to staff. Take this example. When former Alaska Governor ...

Tightly control your reps’ ability to update their customers’ contact information – especially if they’re about to leave. Otherwise, you might suffer a fate similar ...

A global economy inspires far-flung partnerships but the rules spell out quite forcefully the bounds of behavior, and missteps can be punished severely.Advisers Act rule ...

From Morgan Keegan to William Morgan, CCOs have felt the lash of late from regulators who believe the officers ran afoul of the rules. Nothing ...

The biggest risk for firms when it comes to soft dollars is failing to disclose they engage in these arrangements when they do. Compliance staff ...

Those surprise audits called for by the SEC's revised custody rule by definition dictate that you won't know when they'll occur but this doesn't mean ...